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In October 2019, FINRA ordered Investors Capital Corp. to pay $1.1 million in fines and restitution related to the sale of unit investment trusts (UITs) and steepeners, another complex financial product. Investors Capital Corp. is in the Cetera Financial Group … Continue reading
Erez Law is currently investigating Centaurus Financial, Inc. broker David Crane (CRD# 1334510) regarding unsuitable structured product investments. Crane has been registered with Centaurus Financial, Inc. in Dacula, Georgia since December 2018. Previously, Crane was registered with Questar Capital Corporation … Continue reading
Erez Law is currently investigating Kalos Capital, Inc. broker Frederick Baerenz (CRD# 2388453) who allegedly recommended unsuitable GPB Capital Holdings investments. Baerenz was registered with Kalos Capital, Inc. in Great Falls, Virginia from 2013 to 2017. GPB Capital Holdings is … Continue reading
Former Kalos Capital, Inc. broker David Sweat (CRD# 5502379) is accused of recommending unsuitable GPB Capital Holdings. Sweat has been registered with Kalos Capital, Inc. in Great Falls, Virginia from 2013 to 2017. GPB Capital Holdings is a New York-based … Continue reading
Did you lose money investing with New York state broker Richard Coleman (CRD# 2720422)? Coleman was registered with multiple broker-dealers during the past decade, including: SW Financial in Melville, New York (05/07/2018 – 03/14/2019) Richard James & Associates, Inc. in … Continue reading
Erez Law is currently investigating former Securities America, Inc. broker Bobby Coburn (CRD# 1464789) regarding unsuitable investment recommendations. Coburn was registered with Securities America, Inc. in Fort Meade, Florida from 2009 to 2019, when he was terminated regarding, “RR was … Continue reading
Did you lose money investing with former Wells Fargo Clearing Services, LLC broker Joseph Andreoli, Jr. (CRD# 1718688)? Andreoli has been registered with Raymond James & Associates, Inc. in Hackensack, New Jersey since 2019. Previously, Andreoli was registered with Wells … Continue reading
There are options for customers of First Allied Securities, Inc. broker Robert Weissbein (CRD# 1089065) who suffered investment losses. Weissbein has been registered with First Allied Securities, Inc. in Davie, Florida since 2014. Weissbein has been in the industry since … Continue reading
Former Next Financial Group, Inc. broker Anthony Hobson (CRD# 4212302) faces one pending customer complaint for over-concentrated accounts in speculative alternative investments. Hobson has been registered with Money Concepts Capital Corp. in Griffith, Indiana since 2016. Hobson was previously registered … Continue reading
Erez Law is currently investigating former Arive Capital Markets broker John Santariello (CRD# 5746158) regarding stock losses. Santariello was registered with Arive Capital Markets in Coram, New York from 2016 to 2018. Previously, Santariello was registered with the following brokerage … Continue reading